T-Mu-Md-00009-F2-V2.0 - ISA AEO Self-Assessment Checklist

T MU MD 00009 F2
Form
ISA AEO Self‐assessment Checklist
Version 2.3
Issued date: xx xxx 2018

© State of NSW through Transport for NSW 2020

T MU MD 00009 F2
Version 2.3

Important message

This document is one of a set of standards developed solely and specifically for use on Transport Assets (as defined in the Asset Standards Authority
Charter). It is not suitable for any other purpose.
The copyright and any other intellectual property in this document will at all times remain the property of the State of New South Wales (Transport
for NSW).
You must not use or adapt this document or rely upon it in any way unless you are providing products or services to a NSW Government agency and
that agency has expressly authorised you in writing to do so. If this document forms part of a contract with, or is a condition of approval by a NSW
Government agency, use of the document is subject to the terms of the contract or approval. To be clear, the content of this document is not
licensed under any Creative Commons Licence.
This document may contain third party material. The inclusion of third party material is for illustrative purposes only and does not represent an
endorsement by NSW Government of any third party product or service.
If you use this document or rely upon it without authorisation under these terms, the State of New South Wales (including Transport for NSW) and
its personnel does not accept any liability to you or any other person for any loss, damage, costs and expenses that you or anyone else may suffer or
incur from your use and reliance on the content contained in this document. Users should exercise their own skill and care in the use of the
document.
This document may not be current and is uncontrolled when printed or downloaded. Standards may be accessed from the Asset Standards
Authority website at www.asa.transport.nsw.gov.au


T MU MD 00009 F2
Version 2.3
Standard governance
Owner: Manager Authorisation, Asset Standards Authority
Authoriser: Director, Authorisation and Audit, Asset Standards Authority
Approver: Executive Director, Asset Standards Authority on behalf of the ASA Configuration Control
Board
Document history
Version Summary of changes
1.0 First issue 10 December 2014
2.0 Second issue
2.1 Draft issue
2.2 Interim release to be used for Axess, Boleh Consulting
2.3 Interim release to be used for applicants with ISA component from Oct 2018 onwards till
superseded
For queries regarding this document,
please email the ASA at
standards@transport.nsw.gov.au
or visit www.asa.transport.nsw.gov.au


T MU MD 00009 F2
Version 2.3
Preface
The Asset Standards Authority (ASA) is a key strategic branch of Transport for NSW (TfNSW).
As the network design and standards authority for NSW Transport Assets, as specified in the
ASA Charter, the ASA identifies, selects, develops, publishes, maintains and controls a suite of
requirements documents on behalf of TfNSW, the asset owner.
The ASA deploys TfNSW requirements for asset and safety assurance by creating and managing
TfNSW's governance models, documents and processes. To achieve this, the ASA focuses on
four primary tasks:
 publishing and managing TfNSW's process and requirements documents including TfNSW
plans, standards, manuals and guides
 deploying TfNSW's Authorised Engineering Organisation (AEO) framework
 continuously improving TfNSW’s Asset Management Framework
 collaborating with the Transport cluster and industry through open engagement
The AEO framework authorises engineering organisations to supply and provide asset related
products and services to TfNSW. It works to assure the safety, quality and fitness for purpose
of those products and services over the asset's whole‐of‐life. AEOs are expected to
demonstrate how they have applied the requirements of ASA documents, including TfNSW
plans, standards and guides, when delivering assets and related services for TfNSW.
Compliance with ASA requirements by itself is not sufficient to ensure satisfactory outcomes
for NSW Transport Assets. The ASA expects that professional judgement be used by competent
personnel when using ASA requirements to produce those outcomes.
About this document
This form is to be completed by organisations applying for Authorised Engineering
Organisation (AEO) assessment.

© State of NSW through Transport for NSW 2020 Page 4 of 54

T MU MD 00009 F2
Version 2.3
Table of contents
1. Introduction .................................................................................................................................... 6
2. Accompanying documents .......................................................................................................... 6
3. Terms and definitions ................................................................................................................... 6
4. Completing the checklist ............................................................................................................. 7
5. Assessors Response .................................................................................................................. 10


T MU MD 00009 F2
Version 2.3
1. Introduction
This form is to be completed by organisations applying for Authorised Engineering
Organisation (AEO) assessment.
It is completed after the initial meeting with the ASA authorisation facilitator as part of the
application for the formal AEO assessment process.
2. Accompanying documents
The following documents provide additional information to assist in completing this form.
T MU MD 00009 F1 AEO Engineering Services Matrix
T MU MD 00009 F3 AEO Self‐assessment Tool
T MU MD 00009 SP AEO Authorisation Model
T MU MD 00009 ST AEO Authorisation Requirements
T MU MD 20001 ST System Safety Standard for New or Altered Assets
3. Terms and definitions
The following terms and definitions apply in this document:
AEO Authorised Engineering Organisation
ASA Assets Standards Authority
CMAAC TfNSW Configuration Management and Asset Assurance Committee
Dep sys deployed system
Doc sys documented system
EMC electromagnetic compatibility
EMI electromagnetic interference
HF human factors
ISA independent safety assessment


T MU MD 00009 F2
Version 2.3
RAM reliability, availability and maintainability
SFAIRP so far as is reasonably practicable
TfNSW Transport for NSW
4. Completing the checklist
This checklist consists from two tables – the general AEO requirements table followed by the
ISA requirements table. T MU MD 00009 ST AEO Authorisation Requirements document guides
on general AEO requirements. T MU MD 00004 TI Independent Safety Assessor Requirements
defines ISA specific requirements, and also provides guidance on the general AEO
requirements applicability for the ISA scope.
Responses in the general AEO requirements table cover the entire scope of application
including the ISA part (as applicable for ISA). The responses are guided by T MU MD 00009 ST
AEO Authorisation Requirements. In addition – the table directs on how to respond to each
general AEO requirement in relation to the ISA scope.
The table for ISA requirements is only used if ISA is within the scope of authorisation. For
guidance in completing the ISA requirements table refer to T MU MD 00004 TI Independent
Safety Assessor (ISA) Requirements.
T MU MD 00004 TI also defines general AEO requirements applicability for the ISA scope of
authorisation and is to be used together with the T MU MD 00009 ST AEO Authorisation
Requirements when completing the general AEO requirement table in this form. The table
includes guidance that is aligned with the T MU MD 00004 TI for convenience.
To complete this form firstly replace <insert organisation> at the top of the form with the
organisation's name.
Then for each applicable requirement, complete the non‐shaded cells by following the steps:
1. Elaborate on how the organisation meets the requirement in the 'Comments’ cell. The
comment must be applicable, concise and specific to the requirement. If the requirement is
not applicable to the scope, enter N/A in the ‘Comments’ cell.


T MU MD 00009 F2
Version 2.3

2. Provide a list of evidence which demonstrate the requirement in the 'Evidence' column. If
applicable, include reference to specific sections or pages within the document to indicate
where the information is located that demonstrates in meeting the requirement. The
evidence shall be grouped in documented or deployed.
Documented evidence is documentation relating to procedures, processes, work

instructions, quality (project/design/construction) plans, templates and forms.
Deployed evidence is documentation which demonstrates the use of the above

documented evidence or evidence in delivering the services/products to satisfy
requirement if there is no documented evidence.
Evidence listed in the documented and deployed evidence cells shall match the maturity
rating.
3. Enter a self-assessed maturity rating (0 – 5 as defined in


T MU MD 00009 F2
Version 2.3
4. Table 1) of the level of confidence in the organisation's documented systems and

organisation's deployment of its own documented processes in the 'Doc sys rating' and
‘Dep sys rating' column respectively. ‘Dep sys rating’ cannot be higher than the ‘Doc sys
rating’.
Note: A maturity rating of 4 or 5 is only possible if the optional ENM23 and ENM24
requirements are completed and that all applicable requirements’ maturity ratings are at
least 3.
If further clarification is needed, contact your authorisation facilitator.


T MU MD 00009 F2
Version 2.3
Table 1 - Levels of maturity and description of rating levels
Rating level Rating level description
0 The organisation does not currently have or meet the requirement or
capability.
1 The requirement or capability is created or deployed unpredictably
with poor control and is reactive.
2 The requirement or capability is created or deployed on a case‐by‐case
(project or service) basis and is often reactive.
3 The requirement or capability is created or deployed at the
organisational level and is tailored for projects or services accordingly.
organisational level and is actively measured and controlled within the
organisation (only used at organisational or organisational unit level).
organisational level and continuously improved based on quantitative
measurements (only used at organisational or organisational unit
level).
N/A Not applicable

5. Assessors Response
A preliminary review will be conducted on the self‐assessment toolkit and if satisfactory, the
ASA will request you submit the evidence before you are qualified for an assessment.
When a preliminary review is undertaken, assessors will select the relevant checkbox:
 N/A – requirement is not applicable for the scope applied
 Accept – the evidence listed is satisfactory and can proceed to the assessment stage
 Resubmit – the evidence listed is unsatisfactory to proceed to the assessment stage
providing feedback comments for the applicant to address and resubmit for another
review.
On resubmission, the applicant makes the necessary changes to the comment, evidence
and/or maturity rating by enabling tracked changes to the document.


T MU MD 00009 F2
Version 2.3
The ASA can provide general comments such as maturity ratings or scope relating to the
Engineering Services Matrix at the end of this document.


T MU MD 00009 F2
Version 2.3
AEO self‐assessment checklist for <insert organisation>

ASA 1st Initial Check Date: ASA 2nd Initial Check Date:

Requirements Evidence
Dep sys
Doc sys
(for guidance refer to T MU MD 00009 ST AEO Authorisation Requirements) (document number, title and relevant section or
rating
rating
page)
1 – Engineering management process and planning
ENM1 – An AEO shall have engineering management processes and methodologies appropriate to its engineering services and suitably aligned with ISO 9001 Quality
management systems – Requirements, ISO 55000 Asset management ‐ Overview, principles and terminology, AS ISO 55001 Asset management – Management systems –
Requirements and AS/NZS ISO 9001 Quality management systems – Requirements.
Comments: Documented Evidence:
< Applicable for the ISA scope. Refer to T MU MD 00004 TI for additional guidance. Provide brief
general overview here. The additional specific to ISA details are elaborated in responses to the ‘ISA
Deployed Evidence:
requirements’ section in this checklist.>

ASA Initial Check: 1st Round ☐ N/A ☐ Accept ☐ Resubmit; 2nd Round ☐ Accept ☐ Resubmit
1st:
2nd:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
SME Name:
SME Notes:

ENM2 – Design AEOs shall have capability to provide design support during procurement, manufacturing, construction, integration, test and commissioning stages.
< Not applicable if applying for the ISA scope only. >
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
2 – Requirements management
ENM3 – An AEO shall have requirements management arrangements that set out appropriate process, responsibilities, structure, tools and deliverables for
management of stakeholder requirements applicable to the scope of engineering services provided across the system life cycle.
< Applicable for the ISA scope. Refer to T MU MD 00004 TI for additional guidance. >
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

3 – Service or solution engineering
Interface management


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
ENM4 – An AEO shall have interface management arrangements that set out the processes, responsibilities, structures, tools and deliverables.
< Do not respond for the ISA scope here. It is covered in the ISA checklist. Refer to T MU MD 00004
TI. >
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

Integration management
ENM5 – An AEO shall demonstrate that it has suitable management arrangements to plan and carry out the integration of all the declared products or systems as
appropriate to the scope of authorisation.


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
< Do not respond for the ISA scope here, it is covered in the ISA checklist. Refer to T MU MD 00004 TI.
>
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

System architecture management
ENM6 – A design AEO shall demonstrate that it has arrangements to manage the synthesis and development of system level requirements into a credible system
architecture.


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

Sustainability in design
ENM7 – An AEO shall incorporate sustainability in design principles as relevant to the scope of the authorised engineering services.
Deployed Evidence:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
1st:
2nd:
SME Name:
SME Notes:

RAM management
ENM8 – An AEO shall demonstrate that it has RAM management arrangements in place, relevant to the engineering services or products provided.
< Do not respond for the ISA scope here. It is covered in the ISA9. Refer to T MU MD 00004 TI. >
Deployed Evidence:

1st:
2nd:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
SME Name:
SME Notes:

Human factors integration
ENM9 – An AEO shall manage all HF relevant to the scope of the authorised engineering services.
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)

Electromagnetic Compatibility (EMC)
ENM10 – An AEO engaged by TfNSW to undertake engineering activities involving the specification, design, integration, testing and maintenance of electrical or
electronic systems involving EMI emitters (threats) or receivers (victims) shall have arrangements for managing EMC.
An AEO engaged by TfNSW to undertake engineering activities involving the specification, design, build, integration or modification of electrically conductive or
magnetically permeative structures shall ensure that arrangements are in place for managing electromagnetic interference and electromagnetic compatibility.
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
4 – Assurance, verification and validation
ENM11 – An AEO shall have arrangements for verification and validation management of the engineering services or products provided.
< Do not respond for the ISA scope here. It is covered in the ISA checklist. Refer to T MU MD 00004 TI.
>
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

ENM12 – An AEO shall demonstrate engineering assurance based on progressive stage gateway reviews.


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
TI. > Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

ENM13 – AEOs shall apply a risk‐based approach to engineering assurance.
Deployed Evidence:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
1st:
2nd:
SME Name:
SME Notes:

Judgment of significance (JOS)
ENM14 – An AEO shall establish arrangements for assessing the significance of proposed engineering changes arising from the delivery of its engineering services.
Deployed Evidence:

1st:
2nd:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
SME Name:
SME Notes:

System safety assurance
ENM15 – The AEO shall have system safety assurance arrangements in place relevant to the engineering services or products provided. These arrangements must
include suitable planning activities and deliverables. They must also demonstrate suitable and sufficient integration into the engineering services.
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)

ENM16 – The AEO's safety assurance arrangements must provide progressive assurance through the project or system life cycle.
>
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

ENM17 – The AEO shall have arrangements for the identification and management of safety risks associated with the changes to be introduced. The process should
follow a life cycle approach such that the granularity of risks and the level of analysis aligns with the progression through the engineering life cycle. It shall also support
risk‐based decision‐making with records to show traceability of all decisions made.


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

ENM18 – The AEO shall have arrangements for delivering safety assurance arguments and supporting evidence (or input to such documentation) that describes how it
has ensured safety SFAIRP and managed safety risks to tolerable and SFAIRP. The content of such documents should be aligned with the requirements of
T MU MD 20001 ST so that they meet the requirements of the CMAAC process.
< Do not respond for the ISA scope here. It is covered in the ISA1 responses. Refer to T MU MD 00004


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
TI. > Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

ENM19 – AEO safety engineering and assurance arrangements shall be subject to ISA, where it is responsible for the introduction of new or novel systems that affect the
operational safety of the network or where the general scope and complexity of the project requires it. There shall be arrangements in place to support the
appointment of an ISA organisation and to engage with an ISA organisation at all stages of the engineering activities being undertaken when required and in accordance
with the relevant standards and best practice for the scope of works.
Deployed Evidence:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
1st:
2nd:
SME Name:
SME Notes:

5 – Configuration management
CFM1 – An AEO shall have a documented system that describes the management of the configuration of all proposed or existing configuration items under its control as
relevant to the scope of the authorised engineering service.
< Applicable for the ISA scope. Refer to T MU MD 00004 TI section 8.1.13 for additional guidance. >
Deployed Evidence:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
1st:
2nd:
SME Name:
SME Notes:

6 – Competence management
CPM1 – An AEO shall have comprehensive arrangements and systems for managing the competence of its staff, contractors, sub‐contractors and other third party
suppliers, relevant to the engineering services provided.
Deployed Evidence:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
1st:
2nd:
SME Name:
SME Notes:

CPM2 – An AEO shall consider relevant external qualification standards to benchmark the skills to be assessed and maintain evidence that relevant industry competence
requirements, including TfNSW Standards, have been analysed and interpreted for the appropriate engineering services offered.
Deployed Evidence:

1st:
2nd:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
SME Name:
SME Notes:

CPM3 – An AEO shall have arrangements in place to train, develop and assess the competence of staff using established methods and competence standards, including
establishing training and development needs for staff delivering engineering services.
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
CPM4 – An AEO shall provide for the planning, implementation, recording, assessment and recognition of relevant continuing professional development activities to
enhance the knowledge and skills of staff and the organisation as a whole.
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

CPM5 – An AEO shall maintain competence management records that contain appropriate and up‐to‐date information about all competence aspects of a candidate. All
records shall be maintained for audit purposes and must be stored in a secure location for the duration of the AEO certification validity period.


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

CPM6 – An AEO shall establish and maintain a register of all engineering and other engineering‐related services provided by staff and their competences.
Deployed Evidence:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
1st:
2nd:
SME Name:
SME Notes:

CPM7 – An AEO shall maintain the competence of those managers and assessors implementing the competence management system and ensure that the managers and
assessors understand their responsibilities.
Deployed Evidence:

1st:
2nd:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
SME Name:
SME Notes:

CPM8 – An AEO shall demonstrate its knowledge management capability as suitable to the scope of services and the sharing of industry relevant lessons learnt within
the organisation and with the ASA.
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
7 – Stakeholder management
ENM20 – An AEO shall have arrangements in place to identify and manage internal and external stakeholders as appropriate to the scale and scope of engineering
services being provided.
>
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

8 – Resources management


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
ENM21 – An AEO shall have arrangements in place to ensure the required tangible and non‐tangible resources are available as necessary for the provision of the
authorised scope of engineering services.
TI. >
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

9 – Supplier management
ENM22 – An AEO shall have arrangements in place, appropriate to the scope of services, to manage selection, evaluation and monitoring of internal or external
suppliers and to assure selection and acquisition of required products and services.


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

10 – Performance measurement and evaluation
ENM23 – An AEO shall periodically review key service delivery processes using established measurement processes, methods and defined quantitative performance
criteria.


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

11 – Continual improvement management
ENM24 – An AEO shall have arrangements in place for continual and systematic process improvement based on measured processes performance.
Deployed Evidence:


T MU MD 00009 F2
Version 2.3
Dep sys
Doc sys
rating
rating
page)
1st:
2nd:
SME Name:
SME Notes:

Additional response to Self‐assessment Toolkit
ASA additional comments (including maturity and scope) if applicable:


T MU MD 00009 F2
Version 2.3
AEO self‐assessment checklist – ISA requirements for <insert organisation>
(for guidance refer to T MU MD 00009 ST AEO Authorisation Requirements) (document number, title and relevant section or page)
ISA Organisation Competence and Capability
ISA1 – The ISA organisation must demonstrate a high level of competence and capability within its management process and arrangements for ISA services in the
following areas:
– System safety assurance
– Safety engineering
– Safety risk management
– Safety argumentation.

Deployed Evidence:

1st:
2nd:


T MU MD 00009 F2
Version 2.3
SME Name:
SME Notes:

Establishing and maintaining the assessment team
ISA2 – The ISA organisation shall have a process for the definition of roles and responsibilities for ISA roles with technical skills and competence criteria defined for each
ISA role recorded in a competency framework similar to IET (Refer to Appendix A). This should include Lead ISA role and proficiency levels required. When an ISA team is
formed, the roles and responsibility for each team member and the internal reporting structure of the team should be clear.

Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:


T MU MD 00009 F2
Version 2.3

ISA3 – The ISA organisation shall have a process for assembling an ISA team covering all relevant disciplines associated with the scope of an ISA assignment. The process
shall be supported by suitable and sufficient governance within the organisation. The ISA team shall be led by a lead assessor appointed through an appropriate process
and authorised by the organisation’s senior management. The ISA organisation shall have a documented process to assure the competence of contracted ISA team
members, including subject matter experts.

Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:


T MU MD 00009 F2
Version 2.3
ISA4 – The ISA organisation should have personnel policies and arrangements in place to ensure that the organisational capability is maintained in the subject matter
expertise fields within the authorisation scope and with respect to ongoing ISA engagements. Gaps in capability due to new developments, staff turnover shall be
proactively managed. The ISA process shall identify the management of gaps in competency. Evidence should include established commitment to training and
professional development review.

Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

Independence, impartiality and confidentiality


T MU MD 00009 F2
Version 2.3
ISA5 – The ISA organisation shall have a process for managing, maintaining and demonstrating its independence and the independence of its employee’s. The ISA
organisation shall not be influenced commercially, financially or otherwise that could compromise the ability of the ISA organisation to reach an independent and
objective judgement without bias or the suggestion of any bias.

Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

Assessment conduct
ISA6 – The ISA organisation shall have a process for planning the assessment program using appropriate assessment, audit and other tools to assess the safety program
that sets out the activities, reviews and other involvement as well as reporting methods and milestones progressively through the life cycle. Further information on ISA
plans is provided in Section 9.3 of T MU MD 00003 GU Guidance to Independent Safety Assessment.


T MU MD 00009 F2
Version 2.3

Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

ISA7 – The ISA organisation shall use a risk‐based approach to determine the areas of greatest focus within the scope of the assessment. The process for planning and
conducting the assessment shall identify and record how the assessor reviews the scope of the assessment and identifies the key areas for assessment activities and the
activities to be undertaken. The outcome of this process should be included in, and traceable to, the relevant ISA plans and ISA reports.

Deployed Evidence:


T MU MD 00009 F2
Version 2.3
1st:
2nd:
SME Name:
SME Notes:

ISA8 – The ISA organisation shall have an ISA plan for conducting their work, setting out its approach to proactive assessment and analysis of the customer's engineering
process and life cycle as it is executed during system development.

Deployed Evidence:

1st:
2nd:


T MU MD 00009 F2
Version 2.3
SME Name:
SME Notes:

ISA9 – The ISA organisation shall include in its scope of assessment risks to safety, at minimum to include the following:
• human factors,
• RAM activities
• verification and validation activities undertaken as part of the system assurance
• interfaces in the assessment of systems
• electromagnetic compatibility (EMC) risks to safety (where applicable).

Deployed Evidence:

1st:
2nd:


T MU MD 00009 F2
Version 2.3
SME Name:
SME Notes:

ISA10 – The ISA organisation shall have a management process to ensure that work carried out during ISA will support a final recommendation and judgement based on
the arguments and evidence provided. It shall ensure that a coordinated set of activities lead to this judgement and that the judgement is reached independently of the
organisation or organisations subject to assessment.

Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:


T MU MD 00009 F2
Version 2.3
ISA11 – The ISA Organisation shall have a project management capability and documented processes for managing ISA assignments.

Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

Reporting
ISA12 – The ISA organisation shall be able to demonstrate a process for reporting, managing and communicating comments, observations and issues that enable clear
reporting and traceability and transparency through all stages of the assessment process, including facilitating their close out.


T MU MD 00009 F2
Version 2.3
Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:

Reporting
ISA13 – The ISA organisation shall be able to provide progress reports, issues categorised for importance, and status summaries as required to support key project
milestones and facilitate the proactive and early identification of issues and maintain regular interaction across stakeholders. Progress reports shall be provided at
configuration management gates (a requirement of the T MU MD 20001 ST) as well as any other key assessment milestones either identified by the project, AEO or lead
ISA. Status shall be reported against identified issues.

Deployed Evidence:


T MU MD 00009 F2
Version 2.3
1st:
2nd:
SME Name:
SME Notes:

Governance
ISA14 – The ISA organisation shall have a process for the compilation, review and sign‐off of ISA reports and recommendations, including necessary governance and
quality assurance measures. This shall include review from outside of the assessment team for key reports and high impact findings.

Deployed Evidence:

1st:
2nd:


T MU MD 00009 F2
Version 2.3
SME Name:
SME Notes:

ISA15 – The ISA organisation shall have a structure and process in place for managing engagement with the client and delivery AEO and its suppliers. This should include
a communication framework that identifies the parties that can communicate at the AEO interface or interfaces and the TfNSW interface.

Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:


T MU MD 00009 F2
Version 2.3
ISA16 – The ISA organisation shall have within its process a means of escalating issues that are not being appropriately resolved. This should initially be at the interface
between the ISA and the AEO and ultimately at the interface between the ISA and TfNSW.

Deployed Evidence:

1st:
2nd:
SME Name:
SME Notes:


T-Mu-Md-00009-F2-V2.0 - ISA AEO Self-Assessment Checklist

Încărcat de

Informații document

Titlu original

Drepturi de autor

Formate disponibile

Partajați acest document

Partajați sau inserați document

Opțiuni de partajare

Vi se pare util acest document?

Este necorespunzător acest conținut?

Drepturi de autor:

Formate disponibile

T-Mu-Md-00009-F2-V2.0 - ISA AEO Self-Assessment Checklist

Încărcat de

Drepturi de autor:

Formate disponibile

About this document

Documented evidence is documentation relating to procedures, processes, work

Deployed evidence is documentation which demonstrates the use of the above

3. Enter a self-assessed maturity rating (0 – 5 as defined in

4. Table 1) of the level of confidence in the organisation's documented systems and

If further clarification is needed, contact your authorisation facilitator.

Table 1 - Levels of maturity and description of rating levels

S-ar putea să vă placă și